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About the Role

Serve as a trusted legal advisor to a dynamic and growing broker-dealer and registered investment advisor business, providing strategic legal guidance that supports the delivery of investment products and services while navigating complex regulatory requirements, managing legal risk, strengthening governance practices, and driving business objectives.

Responsibilities

• Provide legal counsel on investment products and services, including regulatory and contractual requirements, suitability standards, fiduciary obligations, disclosure requirements, legal risk mitigation, and product due diligence activities.
• Serve as the legal subject matter expert for broker-dealer and registered investment advisor matters, advising business leaders and stakeholders on legal, regulatory, and compliance considerations affecting strategies, programs, products, and operational practices.
• Advise on corporate governance matters, including governance processes, policies, board and committee practices, and the preparation of corporate resolutions, governance documentation, agendas, charters, and meeting minutes.
• Analyze legislative, regulatory, legal, and policy developments impacting the business and provide practical guidance, insights, and solutions to internal stakeholders.
• Conduct legal research on complex legal, regulatory, and industry-specific matters to support business initiatives and risk management decisions.
• Monitor emerging legal and regulatory developments within areas of expertise and prepare complex legal analyses, recommendations, and business-focused guidance.
• Partner with business, compliance, and leadership teams to identify, assess, and mitigate legal and regulatory risks associated with investments.

Requirements

• Juris Doctor (J.D.) degree from an accredited institution.
• 9+ Years Experience practicing law in financial services, bank, or law firm.
• Expertise handling FINRA and SEC regulatory matters.
• Active license to practice law in one of the following states: FL, NY or MA.
• Applicants must be legally authorized to work in the United States on a full-time basis without requiring employer sponsorship to commence employment.

Skills

• Extensive knowledge of broker-dealer and registered investment advisor regulatory frameworks.
• Strong legal research, analysis, drafting, negotiation, and counseling capabilities.
• Expertise in corporate governance principles, processes, and documentation.
• Proficiency with Microsoft Office applications, including Excel, PowerPoint, and Outlook.
• Ability to identify complex legal and business issues, evaluate risks, and develop practical solutions.
• Strong strategic thinking with the ability to develop legal approaches for complex and high-profile matters.
• Excellent verbal, written, presentation, and stakeholder communication skills.
• Ability to build and maintain effective relationships with senior executives, business leaders, and external partners.
• Demonstrated ability to manage multiple time-sensitive priorities while meeting deadlines in a fast-paced environment.
• Strong coaching, collaboration, and team-oriented leadership capabilities.
• Demonstrated ability to handle highly confidential and sensitive information with discretion.
• Strong sense of urgency, sound judgment, and organizational effectiveness.

Location

• United States of America

Work Type

• Full-time

Experience Level

• Senior

Education Level

• Juris Doctor (J.D.)

Salary/Compensations

• $127,500.00 - $220,000.00 USD

Benefits

• Fair and competitive rewards package
• Benefits designed to support you, your family and your well-being

About the Company

• Santander is a global leader and innovator in the financial services industry and is evolving from a high-impact brand into a technology-driven organization.
• Our people are at the heart of this journey and together, we are driving a customer-centric transformation that values bold thinking, innovation, and the courage to challenge what’s possible.
• This is more than a strategic shift. It’s a chance for driven professionals to grow, learn, and make a real difference.

Equal Opportunity

• At Santander, we value and respect differences in our workforce. We actively encourage everyone to apply. Santander is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, genetics, disability, age, veteran status or any other characteristic protected by law.